Regional Surveillance Director
5 days ago
The Regional Head of Capital Markets Regulatory Surveillance will be responsible for defining and implementing a compliance surveillance and control setup on the perimeter under their responsibility and adapting it in line with Group norms and Compliance global strategy, and in respect of local regulations as well as global standards.
Responsibilities and Duties- Develop and maintain a comprehensive understanding of financial markets, conduct risk, trading data, and data governance
- Lead a team of 20+ individuals composed of ~10HC onshore in Hong Kong, 4 in Japan, and 9 HC offshore (India)
- Collaborate with global colleagues and stakeholders (Front Office, Compliance, Operations, and Technology) to develop the surveillance program
- Manage the risk assessment process for both trade and communications surveillance
- 15 years of relevant experience
- Seasoned professional with a thorough understanding of financial markets, conduct risk, trading data, and data governance
- Experience in managing teams in a multicultural context
- Track record leading change and development through innovation
- Previous experience in Regulatory Surveillance or at a regulatory authority is a strong plus
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